Securities Fraud Liability of Secondary Actors PDF Download
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Author: Susan D. Sawtelle
Publisher: DIANE Publishing
ISBN: 1437989357
Category : Business & Economics
Languages : en
Pages : 47
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Book Description
Author: Susan D. Sawtelle
Publisher: DIANE Publishing
ISBN: 1437989357
Category : Business & Economics
Languages : en
Pages : 47
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Book Description
Author: United States Government Accountability Office
Publisher: Createspace Independent Publishing Platform
ISBN: 9781983715983
Category :
Languages : en
Pages : 48
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Book Description
Securities Fraud Liability of Secondary Actors
Author: Thomas Lee Hazen
Publisher: West Group Publishing
ISBN:
Category : Business & Economics
Languages : en
Pages : 842
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Book Description
Author: William Savitt
Publisher:
ISBN: 9781910813645
Category :
Languages : en
Pages : 310
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Book Description
Author: Marc I. Steinberg
Publisher: Law Journal Press
ISBN: 9781588520210
Category : Business & Economics
Languages : en
Pages : 1220
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Book Description
This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
Author: Jerry Markham
Publisher: Routledge
ISBN: 1317466373
Category : Business & Economics
Languages : en
Pages : 456
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Book Description
First Published in 2014. This book maps the issues and traces the U.S. government's efforts to properly regulate, monitor, and prevent financial speculation and price manipulation in various markets. It begins with the period from the late nineteenth century to the first congressional efforts at regulation in the 1930s and continues on to the present, with a full chapter on the legal and financial aspects of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The book also discusses the difficulty of initiating successful prosecutions of financial fraud and price manipulation and proposes a new approach to preventing manipulative practices.
Author: James D. Cox
Publisher: Aspen Publishing
ISBN: 1543838480
Category : Law
Languages : en
Pages : 1408
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Book Description
The Tenth Edition of Securities Regulation: Cases and Materials encompasses the sea changes that have recently occurred in the securities laws and capital markets, brought about by both SEC rulemaking and shifts in underwriting practices. The casebook carries forward its long-held standard of providing students with an in-depth, sophisticated, practical look at contemporary securities law. As it has since its first edition, this volume contains a highly teachable mix of problems, cases, and textual material, encouraging students to build their knowledge base by being active problem-solvers. Always forward-thinking, stressing current developments and controversies, the book is also highly modular, so that professors can easily pick and choose how to structure their courses without being locked into any given progression. New to the Tenth Edition: Developments involving cryptocurrencies and coin offerings Commentary on market developments such as issues arising with the retailization of trading markets The SEC’s procedures for direct listings and the regulatory issues surrounding the explosion of SPACs The sweeping November 2020 reforms to the issuer transaction exemptions from registration, and the new standards for evaluating whether offerings will be integrated The Supreme Court’s most recent Goldman Sachs decision addressing fraud on the market Coverage of several developments affecting the SEC’s enforcement powers The SEC’s new rules for proxy advisory services and shareholder proposals Where the law stands today regarding the obligations of broker-dealers in the wake of Regulation Best Interest Professors and students will benefit from: The book’s highly modular organization, enabling different teaching formats and coverage Extensive use of problems that build student awareness of the fundamentals, with directions in the Teacher’s Manual on how best to teach them Concise notes that introduce the reader to both theory and real-life practice issues A book that is always up-to-date and on the cutting edge
Author: W. Bradley Wendel
Publisher: Aspen Publishing
ISBN: 1543815197
Category : Law
Languages : en
Pages : 658
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Book Description
Examples & Explanations for Professional Responsibility, Sixth Edition, is a thorough and comprehensive text that can be used by students as a study aid and by professional responsibility teachers as a class text. It covers the whole field of professional responsibility, focusing not only on the ABA Model Rules, but on the often-complex relationship between the rules and doctrines of agency, tort, contract, evidence, and constitutional law. Beginning with the formation of the attorney-client relationship, the book proceeds through topics including attorneys’ fees, malpractice and ineffective assistance of counsel, confidentiality and privilege rules, conflicts of interest, witness perjury and litigation misconduct, advertising and solicitation, admission to practice, and the organization of the legal profession. Coverage includes all subjects that are tested on the Multistate Professional Responsibility Exam (MPRE), including: A chapter on judicial ethics, a subject tested on the MPRE and not often covered thoroughly, if at all, in law school professional responsibility courses. Updated discussion and examples based on recent developments in the law, including the ABA’s simplification of the rules on advertising and solicitation, new Model Rule 8.4(g) on discrimination in the practice of law, the California Supreme Court’s Sheppard Mullin opinion on advance waivers of conflicts, and continuing developments in the impact of technology on the practice of law. More MPRE-style multiple-choice questions in the Examples. New to the Sixth Edition: Revised and updated to reflect recent developments in the law having to do with lawyering, including new ABA rules, ethics opinions, and cases. New and revised examples and explanations in many chapters. Professors and students will benefit from: Comprehensive, updated coverage of all areas of professional responsibility, with attention to areas that are particularly challenging for students (as well as many practicing lawyers!), such as conflicts of interest and privilege and confidentiality. A study aid that without “teaching to the test,” provides students with thorough preparation for the MPRE, which is the first licensing exam that many law students take.
Author: Michael I. C. Nwogugu
Publisher: Routledge
ISBN: 1317146557
Category : Business & Economics
Languages : en
Pages : 275
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Book Description
Traditional research about Financial Stability and Sustainable Growth typically omits Earnings Management (as a broad class of misconduct), Complex Systems Theory, Mechanism Design Theory, Public Health, psychology issues, and the externalities and psychological effects of Fintech. Inequality, Environmental Pollution, Earnings Management opportunities, the varieties of complex Financial Instruments, Fintech, Regulatory Fragmentation, Regulatory Capture and real-financial sector-linkages are growing around the world, and these factors can have symbiotic relationships. Within Complex System theory framework, this book analyzes these foregoing issues, and introduces new behaviour theories, Enforcement Dichotomies, and critiques of models, regulations and theories in several dimensions. The issues analyzed can affect markets, and evolutions of systems, decision-making, "nternal Markets and risk-perception within government regulators, operating companies and investment entities, and thus they have Public Policy implications. The legal analysis uses applicable US case-law and statutes (which have been copied by many countries, and are similar to those of many common-law countries). Using Qualitative Reasoning, Capital Dynamics Theory (a new approach introduced in this book), Critical Theory and elements of Mechanism Design Theory, the book aims to enhance cross-disciplinary analysis of the above-mentioned issues; and to help researchers build better systems/Artificial-Intelligence/mathematical models in Financial Stability, Portfolio Management, Policy-Analysis, Asset Pricing, Contract Theory, Enforcement Theory and Fraud Detection. The primary audience for this book consists of university Professors, PHD students and PHD degree-holders (in industries, government agencies, financial services companies and research institutes). The book can be used as a primary or supplementary textbook for graduate courses in Regulation; Capital Markets; Law & Economics, International Political Economy and or Mechanism Design (Applied Math, Operations Research, Computer Science or Finance).
Author: Nancy J. Moore
Publisher: Aspen Publishing
ISBN: 1543825974
Category : Law
Languages : en
Pages : 674
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Book Description
Professional Responsibility casebook with a focus on business and transactional lawyers. Authored by Nancy Moore, a highly visible and respected scholar and teacher in Professional Responsibility, this new casebook covers the fundamental components of a traditional Professional Responsibility course with a focus on how these issues arise in a transactional business law practice. It is designed for use in either a two- or three-credit basic course in Professional Responsibility course or an advanced course or seminar specifically on PR in business and transactional law. The traditional pedagogical approach uses a mixture of narrative and descriptive content, edited cases and ethics opinions, discussion questions, and problems. Professors and students will benefit from: A basic introduction to professional responsibility, with a focus on business and transactional lawyers Thorough explanations of rules and concepts Cases carefully edited to clarify the court’s discussion of ethical issues relevant to the chapter topics Textual material provides a foundational understanding of the fundamental topics, allowing the instructor to focus on more difficult material during class time Notes and questions highlight important aspects of each case and prepare students for class discussion Review problems at the end of each chapter – provide a brief overview of material already covered and help students prepare for the exam Appropriate not only for future transactional lawyers, but also for future litigators
